Our Qualifications and Credentials

Our highly educated and knowledgeable staff of investment advisors and associates possess the highest certifications, designations, and licenses in the financial industry including:

AIF® (Accredited Investment Fiduciary designation) – this specialization denotes that the advisor possesses the requisite knowledge to understand and implement a prudent investment process for Investment Stewards (defined as those people who manage an investment process). The AIF® mark is held by the Center for Fiduciary Studies.

CAP® (Certified Administrative Professional) - this certification is conferred by the International Association of Administrative Professionals. The CAP® designation is the industry recognized advanced standard of proficiency and is held by those individuals who pass the advanced CAP® examination which covers the areas of office systems and technology, office administration, management and advanced organizational management.

CFP® (Certified Financial Planning Practitioner) – this designation is conferred by the Certified Financial Planner Board of Standards in the United States. The CFP® designation is held by those professionals who meet the established education, examination, experience, ethics, and continuing education certification requirements.

CPS® (Certified Professional Secretary) – this certification is conferred by the International Association of Administrative Professionals. The CPS® designation is the industry recognized standard of proficiency and is held by those individuals who pass the examination which covers the areas of office systems and technology, office administration and management.

FINRA (formerly NASD) issued licenses

Series 7 - the Series 7 (also known as the General Securities Representative) license qualifies an individual to solicit, purchase, and/or sell all securities products, including corporate securities, municipal securities, municipal fund securities, options, direct participation programs, investment company products, and variable contracts.

Series 9 and 10  – the Series 9 and 10 license qualifies an individual to supervise the purchase and sales of general securities and options.

Series 24 – the Series 24 license entitles the holder to supervise trades involving corporate securities, direct participation programs (DPP's) and investment company / variable contracts.

Series 63 – the Series 63 license is issued to those who pass the Uniform Securities Agent State Law Examination. The examination covers the principles of state securities regulation reflected in the Uniform Securities Act.

Series 65 – the Series 65 license qualifies a representative to act as an investment advisor and is held to a higher fiduciary standard of care.